Vice President, Compliance – Monitoring & Testing, TD Securities

Work Location :
New York, New York, United States of America

Hours:
40

Line of Business:
Compliance

Pay Detail :
$145,000 – $185,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate’s skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed.

• Develop and design annual and cycle-based Compliance Testing and Monitoring plans
• Execute the annual Compliance Testing plan.
• Determine test scopes, and design and develop effective test strategies and approaches.
• Prepare cohesive work papers, and review peer work papers, in accordance with firm standards.
• Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings.
• Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge.
• Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews.
• Oversee remediation of gaps identified in the Testing or Monitoring activities.
• Identify areas for enhanced Monitoring, Testing or training.

• Design and develop Testing and Monitoring metrics, and contribute to department reporting
• Support issues management development and tracking of Compliance-identified findings.
• Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
• Work closely with other support functions and the business areas to support a culture of compliance across the firm.
• Participate in special projects as they arise to enhance Compliance functions.

• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
• Subject matter expert for a functional area
• Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
• Focuses on short to mid- range planning (e.g. 6-12 months)
• Manages regulatory reviews including inquiries, audits, and exams

• Bachelors degree or progressive work experience
• 5-7 Years of related experience

• 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization.
• JD desirable but not required
• Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.
• Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
• Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction.
• Ability to thrive in a fast‑paced, deadline‑driven environment, including by demonstrating excellent time…